Investment adviser · CRD 105910

LEE FINANCIAL COMPANY, LLC

Investment adviser filing (IA)

DALLAS, TX, United States · Form ADV filed Jul 31, 2026

Regulatory AUM: $1.68B
Client accounts: 1,745
Employees: 39
Advisory professionals: 22

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
High-net-worth individuals	220	$1,472,540,543	87.5%
Individuals	208	$158,445,007	9.4%
Retirement plans	11	$30,141,258	1.8%
Pooled investment vehicles	4	$15,189,608	0.9%
Charities	Fewer than 5	$6,154,254	0.4%

Filing source

Form ADV 2121706 · Jul 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

38 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

LFC EQUITY PLUS TAIL PROTECTION FUND, LLC.Hedge Fund · Last reported Jul 31, 2026$13.1MGross asset value

Fund administrator ESSENTIAL FUND SERVICES, LLC/JTC TARRYTOWN, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor WHITLEY PENN DALLAS, Texas, United States

Custodian CHARLES SCHWAB & CO., INC. EL PASO, Texas, United States Related to adviser: No

Prime broker BOFA SECURITIES, INC. NEW YORK, New York, United States

Prime broker INTERACTIVE BROKERS LLC GREENWICH, Connecticut, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

WHITLEY PENN
PCAOB 726

CHARLES SCHWAB & CO., INC.
SEC 8-16514

BOFA SECURITIES, INC.
CRD 283942 · SEC 8-69787

INTERACTIVE BROKERS LLC
CRD 36418 · SEC 8-47257

Fund details & source

Fund ID: 805-4502149827
Reported beneficial owners: 14
Minimum commitment: $100K
Form D file number: 021-1903193

Form ADV 2121706 · Jul 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LFC HORIZONReal Estate Fund · Last reported Jul 31, 2026$213KGross asset value

Auditor WHITLEY PENN DALLAS, Texas, United States

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WHITLEY PENN
PCAOB 726

CHARLES SCHWAB & CO., INC.
SEC 8-16514

Fund details & source

Fund ID: 805-1574065457
Reported beneficial owners: 75
Minimum commitment: $50K

Form ADV 2121706 · Jul 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LFC NOVUS LTDPrivate Equity Fund · Last reported Jul 31, 2026$156KGross asset value

Auditor WHITLEY PENN DALLAS, Texas, United States

Custodian NATIONAL ADVISORS TRUST COMPANY, FSB KANSAS CITY, Missouri, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WHITLEY PENN
PCAOB 726

Fund details & source

Fund ID: 805-9623177469
Reported beneficial owners: 35
Minimum commitment: $50K
Form D file number: 021-87163

Form ADV 2121706 · Jul 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LFC MATRIX RESOURCESPrivate Equity Fund · Last reported Jul 31, 2026$83.7KGross asset value

Auditor WHITLEY PENN DALLAS, Texas, United States

Custodian NATIONAL ADVISORS TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WHITLEY PENN
PCAOB 726

Fund details & source

Fund ID: 805-3965034582
Reported beneficial owners: 29
Minimum commitment: $50K
Form D file number: 021-107113

Form ADV 2121706 · Jul 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LFC ALPHA LTDHedge Fund · Last reported Nov 15, 2019$30.1MGross asset value

Form D fundraising filings

LFC Alpha Ltd

Auditor WHITLEY PENN, LLP DALLAS, Texas, United States

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WHITLEY PENN, LLP
PCAOB 726

CHARLES SCHWAB & CO., INC.
SEC 8-16514

Fund details & source

Fund ID: 805-1618028527
Reported beneficial owners: 77
Minimum commitment: $50K
Form D file number: 021-98700

Form ADV 1356518 · Nov 15, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LQP COLLATERAL, LTDPrivate Equity Fund · Last reported Mar 27, 2014$2.87MGross asset value

Custodian NATIONAL ADVISORS TRUST COMPANY KANSAS CITY, Kansas, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

Fund details & source

Fund ID: 805-9036148227
Reported beneficial owners: 3
Minimum commitment: $0

Form ADV 808615 · Mar 27, 2014 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

LFC REGIONS LTDReal Estate Fund · Last reported Nov 15, 2019$645KGross asset value

Auditor WHITLEY PENN DALLAS, Texas, United States

Custodian CHARLES SCHWAB & CO., INC. SAN FRANCISCO, California, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: No
External marketing: No

WHITLEY PENN
PCAOB 726

CHARLES SCHWAB & CO., INC.
SEC 8-16514

Fund details & source

Fund ID: 805-3873940105
Reported beneficial owners: 82
Minimum commitment: $50K
Form D file number: 021-61282

Form ADV 1356518 · Nov 15, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Jul 31, 2026. View historical filings

Reported services

Financial planning · Individual portfolio management · Pooled investment vehicle management · Business portfolio management · Selection of other advisers

Compensation

Percentage of assets · Hourly · Fixed

Principal office

8350 N. CENTRAL EXPRESSWAY, SUITE 1800
DALLAS, TX, 75206, United States

CRD 105910

Filing source

Form ADV 2121706 · Jul 31, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.